Consulting Services 2018-02-26T14:33:22+00:00

Assisting firms achieve their objectives by reducing risk

Our services

Compliance Services

ACT focus on the preventative, taking a common sense approach eliminating the red tape trap that so many firms fall into. We work with you to streamline your processes ensuring that the objectives you set are achievable. We will train you and your employees to embed compliance into the day to day lives and culture. It must be lead top down and bottom up. Every individual has that responsibility to protect themselves, the firm and the clients.

Our approach is to train and retain employees enabling them to use their skill set and achieve their individual goals and those of the company.

No firm is too small, we are here to assist sole traders and SME’s. If you are faced with a difficult situation, we can assist you, even at the 11th hour!

Business Services

Whether you need a Non-Executive Director to sit on the board or focus your management team, we can assist. We also provide support for the day to day operations of your firm. As with compliance not all firms can afford a dedicated department. We can assist with recruitment/selection, onboarding, appraisals and exit interviews.

We offer a mentoring and coaching for those individuals who have reached a cross roads or needing additional support. It may be that you are looking to go to the next level and we can challenge you to focus on the end goal and what you do best, unlocking potential and profits.

All services are tailor made to your requirements.

Many firms do not have a compliance department, yet it is the foundation that needs to underpin every firm.

Our services and training in detail

Accreditations a great way of ensuring your firm’s standards are achieved and not only keeps your PII costs down but provides clients with the confidence with the services you are providing. When accreditations are achieved and maintained, it creates marketability therefore giving you and your firm the potential to increase revenue and reduce overheads.

ACT are here to assist you with the process and implementation starting off with a review of your policies, plans and procedures. We are able to provide training on any aspects, for example Lexcel regardless of the size of your firm and the disciplines you practice.

ACT will ensure all your employees are ready for any interviews and can provide training workshops in the lead up to your assessment.

Once your firm obtains its accreditation, ACT can assist with the review process and ensure that your firm maintains the high standard required to retain its accreditation.

Whether it’s a one off consultancy or an ongoing retainer, ACT can assist.

ACT appreciate how much time can be taken in conducting file reviews. We are able to offer a service to conduct your file reviews which not only free you from the time constraints you face, but offer an independent review in line with your own procedures. This service can be done either on or off site, whichever suits your business requirements.

ACT will conduct the file review to ensure that your firm are maintaining a consistent approach, to ensure you obtain reaccreditation and peace of mind for your COLP and COFA.

In the event that ACT identify any issues or non-material breaches, we offer to provide assistance in remedial action required. We will then assist to the conclusion of remedial action being signed off.

File reviews are essential to evaluating the firm and identifying any trends or risks early on. It is equally important to provide positive feedback of what all your staff are doing well!

Time taken to deal with complaints can be excessive and costly. ACT appreciate how much management time is used in communicating with the complainant, investigating the complaint, drafting a formal response and managing the complaint. If a complaint continues to LEO or ADR this can then eat into more management time, we will deal with complaints to their conclusion.

ACT offer a Complaint Handling service, again whether you require a one off independent review of a complaint or for ACT to be your designated complaint handlers, we are here to assist.

We are able to identify any trends from an early stage and work with you to train and develop if required.

ACT have complaint handling workshops or a one on one training session with your complaint handlers. We can assist in the review of your processes and implementation of new systems.

The SRA Code of Conduct can seem like a minefield. ACT can assist in the following:

COLP/COFA Support
Client Care
Complaints
Conflicts of Interest
Financial and Business Management
Accounts
Date Protection
Outsourcing
Information and Communications Technology
Supervision
Training
Anti Money Laundering
Fraud Prevention
Bribery Act Requirements
Regulatory Reporting Requirements
Monitoring and Review of Compliance
Gap Analysis

At ACT we believe that Training is absolutely vital for any firm to succeed. Our belief is to continually train and develop employees so that you enable them to conduct themselves in the way that your firm require. It is your standard, culture and belief that make your employees who they are, by investing in your employees with training will minimise risk, increase profitability, engender the culture your firm believe and retain your staff.

Train and retain your employees so that they don’t want to leave you and embed your values to keep your company standards high.

ACT offer workshop training session as well as one to one mentoring and coaching. We will help you in evaluating any gaps in your workforce and bring them to the standard you require.

Whether a one off or an ongoing arrangement, ACT can assist. Please see further below for our current training courses.

ACT have experience in various Case Management Systems. If you are looking to improve your existing case management system or considering a new system, ACT can guide you through the workflows and requirements from a compliance aspect.

Please email info@applycompliancetoday.co.uk for further details.

ACT are available to assist with COLP/COFA support on an one off or ongoing basis. By alleviating the pressures involved in both roles, we can work with you for a bespoke service, with Regulatory Consultants on hand to advise on any issues you may face. The benefits include:

  • saving time and money
  • improving efficiency
  • possible reduction in PII premium
  • consistency and objectivity

Services Available

Assessment and Auditing
Inductions – Appraisals – Exit Interviews
Business and Strategic Planning
Complaints Handling
Compliance Support: Risk Registers/Plans, Reporting,
Compliance Training
Continuity Planning
Gap Analysis
Leadership and Teambuilding
Lexcel Consultancy
Management and Supervision
Risk Management
Review and Consultancy Policies , Procedures and Plans

Current Training Courses

ADR For Consumers
Anti-money laundering
Bogus Firms – How to Protect Yourself/The Firm
Client care
COLP and COFA duties and responsibilities
Complaints handling
Compliance for Support Staff
Conflicts of interest
Data protection
Equality and diversity
Ethics
Inductions
Information and communications technology
Lexcel Version 6
Risk management